Potentially Applicable Public Policy Requirements

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The following table specifies those public policy requirements that may apply to all or a subset of HHS grant programs and awards. The following key applies to use of this table. The “Types of Applicants/Recipients” column indicates applicability by type of entity, the “Types of Subrecipients” and “Contractors under grant” columns indicate whether the requirement flows down, as well as applicability by organizational type. An “NA” means it does not flow-down.

Public Policy Mandates or Encouragements

Requirement

Applicability

Types of Applicants/Recipients

Subawards

Contracts for routine goods/services

Age Discrimination Act of 1975

All applications from and awards to domestic entities

NA to foreign and international organizations

NA to foreign and international organizations

NA to foreign and internationalorganizations

Animal Welfare

Applications and awards for activities involving warm-blooded animals

All

All

All

Ban on Cloning of Human Beings (Presidential memorandum of March 4, 1997)

All awards

All

All

All

Certificates of Confidentiality

Research awards (includes research training in each case specified as “research”)

All

All

All

Civil Rights Act of 1964 (Title VI)

All applications from and awards to domestic entities

NA to foreign and international organizations

NA to foreign and international organizations

NA to foreign and internationalorganizations

Confidentiality of Patient/Client Records

All research awards and awards to substance abuse programs

All

All

All

Drug-Free Workplace

All covered applications and awards

All

NA

NA

EducationAmendments of 1972 (Title IX)

All applications from and awards to domestic entities

Does not apply to foreign and international organizations

Does not apply to foreign and international organizations

Does not apply to foreign and international organizations

Financial Conflict of Interest

All applications and awards for research

Does not apply to Phase I of the SBIR/STTR programs and to Federal institutions

All except Federal institutions

NA

Fly America Act/ U.S. Flag Air Carriers

All types of awards

All

All

All

Hatch Act

Awards to State or local governments

All

All

NA

Health Insurance Portability and Accountability Act (HIPAA)

All awards to covered entities

All covered entities

All covered entities

All covered entities

Historic Preservation/Archaeological Sites

All awards that include major or minor A&R, construction, or any work that will result in physical changes to real property

All

All (Note: applicability to subrecipients is being considered based on recent litigation)

Byrd Anti-Lobbying Amendment applies to all awards expected to exceed $100,000 (except that Indian tribes, tribal organizations, and any other Indian organizations may be exempted from the Byrd Anti-Lobbying Amendment with respect to expenditures specifically permitted by other federal law)

Cost principles apply as indicated therein

Limitations in 18 U.S.C. 1913 apply to all awards

All consistent with “Applicability”

All consistent with “Applicability”

All consistent with “Applicability”

Military Recruiting and Reserve Officer Training Corps Access

All types of applications and awards

Institutions of higher education

Institutions of higher education

NA

Pro-Children Act

All awards performed in facilities where children are served

All

All

All

Protection ofResearch Subjects’ Identity

All research awards

All

All

All

Public Health Security and Bioterrorism Preparedness and Response Act

All types of awards

All

All

All

Recombinant DNA Molecules and Human Gene Transfer Research

Applications and awards for research

All

All

All

Research Misconduct

Applications and awards for research and research training

All

NA

NA

Research on Transplantation of Human Fetal Tissue

Research awards

All

All

All

Resource Conservation and Recovery Act

All awards to States or agency of a political subdivision of a State (which for this purpose includes State and local institutions of higher education or hospitals)

All awards, but, in particular, those involving acquisition of real property

All

All

NA

USA PATRIOT Act

All types of awards

All

All

All

Accessing funds

Payment under an award will be made available through the HHS Departmental Payment Management System (PMS). PMS provides instructions for making withdrawals of Federal funds. Inquiries regarding payments should be directed to the Program Support Center:

Postaward Monitoring (Section F)

Recipients are responsible for managing the day-to-day operations of grant-supported activities using their established controls and policies, as long as they are consistent with HHS requirements. However, to fulfill their role in regard to the stewardship of Federal funds, ASPR monitors their grants to identify potential problems and areas where technical assistance might be necessary. This active monitoring includes:

Tracking receipt of required financial and progress reports.

Reviewing these reports to identify performance or financial deficiencies.

Maintaining records of communications with the recipient.

Conducting site visits.

Conducting desk reviews of recipient expenditures.

Review and resolution of the audit findings.

Responding to requests for post award changes to the grant.

Monitoring of a grant will continue for as long as ASPR retains a financial interest in the grant as a result of property accountability, audit, and other requirements that may continue for a period of time after the grant is administratively closed out and ASPR is no longer providing active grant support. Important documents for needed for managing the federal award:

ASPR and the Comptroller General of the United States, or any of their authorized representatives, shall have the right of access to any pertinent books, documents, papers, or other records of grantees and subgrantees which are pertinent to the grant, in order to make audits, examinations, excerpts, and transcripts. As part of the overall monitoring ASPR’s Division of Grants Management will conduct periodic desk reviews of a grantee’s expenditures.

Post Award Changes (F3)

ASPR anticipates that the recipient may need to modify its award budget or other aspects of its approved application during performance to accomplish the award’s programmatic objectives. In general, grantees’ are allowed a certain degree of latitude to rebudget within and between budget categories to meet unanticipated needs and to make other types of post-award changes. However, in most cases prior written approval is required. Post award changes may include the following:

change in approved activities, which may or may not involve a change in scope;

change in award terms and conditions, e.g., removing special conditions or imposing a high-risk designation;

change in the approved budget, including a change in the overall amount, a change in the type of costs incurred, or a change in the allocation of costs among approved budget categories; and/or,

change in award duration, e.g., through a no-cost extension, withholding of support, or a termination action.

For post-award changes that require prior approval:

A formal recipient request for approval must be signed or submitted through GrantSolutions by an authorized organizational representative (AOR), PI or Authorized Official, of the recipient and include necessary documentation;

The request must be initiated by a recipient 30 days in advance of making the proposed change to allow review and approval or denial of the request. If the recipient implements the change without prior approval and approval is denied, it assumes responsibility for any costs that were not approved and for completing the project as approved;

A recipient must obtain approval from ASPR before a subrecipient or contractor under the grant can undertake said activity;

The Grants Management Officer (GMO), or his/her designee, is the only ASPR official authorized to approve or disapprove a formal prior-approval request; and,

A revised Notice of Award (NoA) may be required for some types of post-award changes.